DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
A•••••••••
Legal name D••••••••• I••••••••• S••••••••• L••
Latest filing Feb 20, 2026
First filing on the tape Jan 24, 2012 · 31 filings
SEC status approved since Nov 13, 2006
RAUM
$199M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$199M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$66.5M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
1
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$199M as of Feb 20, 2026
Jan 24, 2012$143M then
HNW client RAUM$157M as of Feb 20, 2026
Mar 2, 2018$99.2M then
State-registered IARs (5.B.3)3 as of Feb 20, 2026
Jan 24, 20120 then
Employees (5.A)6 as of Feb 20, 2026
Mar 4, 20137 then
Private funds1 as of Feb 20, 2026
Mar 26, 20221 then
RAUM +2.0% over the last fiscal year+3.6% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 20, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $66.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $631,018derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.4derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.2%derived
- Compensation
- percentage of assets, performance-based, commissions, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, publications, educational seminars, otherreportedItem 5.G
- Custody
- $116M, 116 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$157M79%
- Individuals$42.6M21%
- Individual clients
- 89reported
- HNW clients
- 79reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 316reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $116M for 116 clientsreported
- Compensation
- % of AUM, performance, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• L•• P••• | Baton Rouge, La | Nov 13, 2006 | 22 y | 1 |
| D•••• R••••• M•••••••Chartered Financial Analyst | Baton Rouge, La | Feb 19, 2008 | 21 y | 1 |
| S•••• J••••• H••• | Baton Rouge, La | Feb 20, 2008 | 32 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K•••• P••• V•••••• to B•••• L•• F•••••••• G••••• L••May 20, 2020 · RIA to RIA
Joined, latest
- K•••• P••• V•••••• from L•• F•••••••• L••Apr 12, 2016 · Other
- S•••• J••••• H••• from Q•• F•••••••• L••Feb 20, 2008 · Other
- D•••• R••••• M••••••• from Q•• F•••••••• L••Feb 19, 2008 · Other
- J•••• L•• P••• from S••••••••• A•••••• A•••••••• I•••Nov 13, 2006 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• C•••••• P•••••••• L• | Hedge Fund | $7.0M | 14 | Sep 13, 2021 |
Owners and control persons
Schedule A and B, latest filing
- H•••• S••••• J••••• · Member/Chief Compliance Officercontrolsince 02/2011 · owns 50% to 75%
- P•••• J••••• L•• · Membercontrolsince 02/2011 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Baton Rouge, La · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lafayette, LA2 employees
What changed
consecutive filings, newest first
- Accounts · 306 to 316Jan 14, 2025 to Feb 20, 2026
- Advisory employees · 4 to 3Jan 14, 2025 to Feb 20, 2026
- HNW clients · 81 to 79Jan 14, 2025 to Feb 20, 2026
- Discretionary RAUM · $192M to $185MJan 14, 2025 to Feb 20, 2026
- HNW RAUM · $155M to $157MJan 14, 2025 to Feb 20, 2026
- Individual RAUM · $40.4M to $42.6MJan 14, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $3.3M to $14.0MJan 14, 2025 to Feb 20, 2026
- RAUM · $195M to $199MJan 14, 2025 to Feb 20, 2026
- Accounts · 318 to 306Feb 12, 2024 to Jan 14, 2025
- Advisory employees · 3 to 4Feb 12, 2024 to Jan 14, 2025
- HNW clients · 78 to 81Feb 12, 2024 to Jan 14, 2025
- Individual clients · 95 to 89Feb 12, 2024 to Jan 14, 2025
- Pooled vehicle clients · 1.0 to unsetFeb 12, 2024 to Jan 14, 2025
- Assets in custody · $7.0M to $116MFeb 12, 2024 to Jan 14, 2025
- Custody of client assets · false to trueFeb 12, 2024 to Jan 14, 2025
- Employees · 5 to 6Feb 12, 2024 to Jan 14, 2025
- Financial planning clients · unset to Feb 12, 2024 to Jan 14, 2025
- Other offices · 1 to 7Feb 12, 2024 to Jan 14, 2025
- Discretionary RAUM · $183M to $192MFeb 12, 2024 to Jan 14, 2025
- HNW RAUM · $137M to $155MFeb 12, 2024 to Jan 14, 2025
- Individual RAUM · $41.5M to $40.4MFeb 12, 2024 to Jan 14, 2025
- Non-discretionary RAUM · $2.8M to $3.3MFeb 12, 2024 to Jan 14, 2025
- Pooled vehicle RAUM · 6980000.0 to unsetFeb 12, 2024 to Jan 14, 2025
- RAUM · $186M to $195MFeb 12, 2024 to Jan 14, 2025
- Accounts · 363 to 318Jul 28, 2023 to Feb 12, 2024
- HNW clients · 79 to 78Jul 28, 2023 to Feb 12, 2024
- Individual clients · 106 to 95Jul 28, 2023 to Feb 12, 2024
- Assets in custody · $2.5M to $7.0MJul 28, 2023 to Feb 12, 2024
- Discretionary RAUM · $166M to $183MJul 28, 2023 to Feb 12, 2024
- HNW RAUM · $132M to $137MJul 28, 2023 to Feb 12, 2024
- Individual RAUM · $41.8M to $41.5MJul 28, 2023 to Feb 12, 2024
- Non-discretionary RAUM · $12.7M to $2.8MJul 28, 2023 to Feb 12, 2024
- Pooled vehicle RAUM · $5.1M to $7.0MJul 28, 2023 to Feb 12, 2024
- RAUM · $179M to $186MJul 28, 2023 to Feb 12, 2024
- Accounts · 370 to 363Mar 26, 2022 to Mar 20, 2023
- HNW clients · 172 to 79Mar 26, 2022 to Mar 20, 2023
- Individual clients · 196 to 106Mar 26, 2022 to Mar 20, 2023
- Assets in custody · unset to 2474245.0Mar 26, 2022 to Mar 20, 2023
- Discretionary RAUM · $175M to $166MMar 26, 2022 to Mar 20, 2023
- HNW RAUM · $142M to $132MMar 26, 2022 to Mar 20, 2023
Signals
1 dated events
- Advisor.Investments reported 7 offices beyond its principal office, up from 1 (2024-02-12 to 2025-01-14)Jan 14, 2025 · Office count change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 866-748-0687reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 225-292-0006reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 225-292-0687reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- mywealthchart.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 225-292-0687reportedpublic record, Form ADV, Feb 20, 2026
- Contact form
- advisor.investments/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $66.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026